SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. 23/05
 SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. 23/05
 SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. 23/05
qualifications and do not possess any prohibited characteristics as specified by law, and at least two of whom having management experience at listed or securities firms. Expert board members each hold office
: Having received an explicit resolution of the shareholders' meeting to approve the offering and such resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion
qualifications and do not possess any prohibited characteristics as specified by law, and at least two of whom having management experience at listed or securities firms. Expert board members each hold office
, provided that: 1) The dividend payment must not increase the mutual fund's retained loss in that accounting period. 2) Dividend payment by issuing investment units to unitholders is prohibited. Retained
, provided that: 1) The dividend payment must not increase the mutual fund's retained loss in that accounting period. 2) Dividend payment by issuing investment units to unitholders is prohibited. Retained
Personal Records and Non-Prohibited Characteristics (Supplement for Form 19-1) F orm for Summary of Digital Token Trading Transactions Via an ICO Portal Financial Advisor Appraiser ICO Portal SHARE : For
the SEC, in materiality. The said actions were also failure to perform the duties as professionals with prudence, due care, knowledge, capability and experience and considered as prohibited